Setting the Stage for Automatic Disposition

Transcription

1 Setting the Stage for Automatic Disposition Susan Cisco Director, Gimmal Education Code: MO

2 Learning Objectives Upon completion of this session, participants will be able to: 1. Define an information lifecycle model and associated business rules 2. Simplify an existing retention schedule with the big bucket approach 3. Summarize how automatic disposition is implemented including retention management for records stored in the cloud by third parties 2

3 Why Not Dispose of Redundant, Obsolete, and Trivial Information (ROT)? It s best practice Generally Accepted Recordkeeping Principles Retention Disposition It s cost effective and reduces business risks The Sedona Conference Commentary on Information Governance Note: ROT includes records with expired retention periods 3

4 What are the Barriers for Automatic Disposition? People Process Technology 4

5 Barriers for Automatic Disposition: People Overcoming skepticism of early adopters Issues with legacy information Confusion about big data Accuracy is 80% good enough? Agency stakeholders distrust algorithms Business unit inaction Lack of Information Governance Steering Committee 5

6 Barriers for Automatic Disposition: Process Some intend to apply the typical physical record disposition process to electronic records: Destruction of official records based on the following conditions: The approved retention period has expired Written approval is received Concurrent has been received from legal council Organizations may have policy but lack procedures 6

7 Barriers for Automatic Disposition: Technology No built-in functionality for retention Auto-classification tools can be expensive Difficulty identifying representative files for training the tools Difficulty implementing event-based retention periods Unreliable or non-existent dates to determine retention 7

8 Is Automatic Disposition Just Too Difficult? 8

9 Success Stories from Early Adopters Global Energy and Petrochemicals Company People Process Technology Started with Executive Committee mandate, then leadership teams, then communicated through various channels Allowed one year to get the message out Training is a self-directed web-based tutorial Legal holds are applied as litigation occurs Approvals not required Notifications are not planned Popular enterprise records management system for physical and electronic records 9

10 Success Stories from Early Adopters City of Bellevue WA People Process Technology Raised awareness for RRS and SharePoint content types in context of a game Incorporated RM into mandatory training on management Training on SharePoint 3 Cs = communication, collaboration, and content Streamlined RRS from 730 to 75 record series Changed when we were getting permission from end of lifecycle to point of declaration Updated legal hold/release program Gimmal Compliance Suite and SharePoint

11 Setting the Stage for Your Success Story PEOPLE Information Governance Steering Committee Records Coordinator Network PROCESS Update business rules / compliance framework TECHNOLOGY Do a pilot 11

12 Setting the Stage for Your Success Story: People You can t knock down barriers by yourself Form an interdisciplinary team / Information Governance Steering Committee Oversee development of standards and policies Harmonize policies and practices Minimize potential policy conflicts and overlapping efforts Establish a Records Coordinator network to facilitate disposition, with dotted line authority to the Records Manager / Officer Embed change management into all program level activities 12

13 Setting the Stage for Your Success Story: Process Need business rules for consistent retention and monitoring for compliance Update your rules / compliance framework Define an information lifecycle model and associated business rules Simplify existing retention schedule with the big bucket approach Make sure RIM policy is up-to-date and approved Legal hold / release program needs to be in place 13

14 Setting the Stage for Your Success Story Define an Information Lifecycle Model & Associated Business Rules START Create/ Receive Temporary Classify Work in Progress Mark Final Final Record Dispose Dispose Disposed Dispose END 14

15 Lifecycle Business Rules Hold Temp Work in Progress Final Record Retention Location Retention 90 Days Location(s) Network Shares Inbox Retention 12 Months Location(s) SharePoint Retention Retention Schedule Location(s) Records Center Metadata Security Versions Metadata Name Metadata Name Content Type Metadata Name Content Type Disposition Disposition 15

16 Setting the Stage for Your Success Story Simplify existing retention schedule with the big bucket approach Same or similar business processes Same or similar legal/regulatory requirements Maintained for same or similar amount of time 16

17 Big Bucket Approach Fewer / bigger buckets in a RSS Easier to manually and automatically classify records for retention and disposition Improves ability to consistently retain/dispose of records resulting in less selective destruction Simpler is usually better 17

18 50 Big Bucket Records Retention Schedule 20% These buckets are more unique and deal with the specific operations of an individual organization 80% Record Series ( buckets ) in a RRS are common across organizations and industries Every organization must control records related to Accounting, HR, Tax, and other back office function 18

19 Setting the Stage for Your Success Story Make sure RIM policy is up-to-date and approved Ownership and responsibility for company information Definition of requirements for information lifecycle Definition and examples of types of records The company s records retention schedule Requirements with records retention and disposal Definition and importance of preservation hold orders 19

20 Automated Disposition Process Automated when possible and sustainable When a piece of content satisfies its retention period, it is expected to be destroyed immediately When the destruction of electronically stored content cannot be automated, manual processes are designed 20

21 Automated Disposition Process Audit log of the disposition tasks and outcomes Provide evidence and verify completion of electronic record destruction Keep information to a minimum Unique identification of piece of content Significant dates of piece of content s lifecycle and system-generated information and properties Prove content was destroyed and provide evidence in the case of an investigation 21

22 Automated Disposition Process Third Party Destruction When third parties are contracted to destroy electronic or physical content, certificates of destruction are recommended and usually include date, time, location, method of destruction and signature of the operator who destroyed the records 22

23 Setting the Stage for Your Success Story Legal hold / release program must be in place 7 Steps for Legal Holds of ESI and Other Documents by John J. Isaza and John Jablonski Available at the ARMA Bookstore New online course that includes the book: 7 Steps for Implementing Legal Holds 23

24 Setting the Stage for Your Success Story: Technology Do a pilot Easier to implement retention and disposition on a day-forward basis When a new system being procured - get on the procurement team When the organization is migrating to new system is a good time to introduce retention and disposition controls Save and shared drives for later after you gain experience Event-based retention periods can be automated 24

25 Setting the Stage for Your Success Story Start planning for disposal in cloud-based services In contracts with cloud providers, document answers to these questions about disposition: How is information destroyed? Are there secure destruction options? How do we confirm disposition takes place on a timely basis and according to our rules? Refer to Job Aid for guidance 25

26 Setting the Stage for Automatic Disposition Please Complete Your Session Evaluation Susan Cisco Education Code: MO